Senior Operations Manager

2 days ago


Taguig, National Capital Region, Philippines TASQ Staffing Solutions Full time

Company Overview

TASQ Staffing Solutions is a leading provider of innovative staffing solutions, committed to excellence and quality in everything we do.

Salary:$120,000 - $180,000 per year

Job Description

We are seeking an experienced Senior Operations Manager to join our team. As a key member of our operations department, you will play a critical role in ensuring the smooth operation of our business.

Responsibilities:

  • Manage stakeholder expectations to support the operations of the company, comply with FINRA and regulatory guidelines;
  • Apply knowledge of operations and broker-dealer supervision and FINRA regulations/procedures, and state & federal regulations to make appropriate, accurate, and timely decisions;
  • Ensure reporting in terms of team & individual training progress to superiors;
  • Communicate strategy, company goals, and deadlines to the team; motivate team members and assess performance;
  • Communicate concerns and policies among management and team members;
  • Responsible for effective stakeholder management, new migrations, customer satisfaction, operational risk management, and for building a culture of innovation and process simplification;
  • Design, develop, coordinate, and conduct large or small-scale training programs required for individuals and teams;
  • Review general transactions by associates in all products to ensure they are appropriate for the client and adhere to regulations;
  • Responsible for reviewing new business, emails, processes, and financial plans, analyzing products, and communicating with the Advisor Network;
  • Managing the training & mentoring as per the business requirements;
  • Act as a liaison between Compliance and various operations areas to ensure the smooth transition of business and to fulfill reporting requirements set forth by state and federal securities regulators. May assist Broker-Dealer operations and Compliance to research, respond to research, and settle formal customer complaints;
  • Maintain comprehensive knowledge of all securities products and services offered by the company and the system capabilities of the company. Including a sound understanding of applicable rules and regulations. This includes a sound understanding of system capabilities;

Required Skills and Qualifications

To be successful in this role, you will need:

  • FINRA Series 7 and Series 24 are required; Series 66 is an advantage;
  • Bachelor's degree or equivalent work experience;
  • 8 years of work experience, plus 2+ years related in financial services, securities operations, compliance, and or supervision;
  • Previous work experience in direct management and leadership roles;
  • Effective stakeholder management;
  • Excellent written and verbal communication skills;
  • Willingness and ability to work in night/rotational shifts;

Benefits

We offer a competitive compensation package, including:

  • Free parking (first come, first served);
  • Hybrid work set up - 3x/week onsite;


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